Securities Law & Instruments

Comment Letters for 23-102 - Use of Client Brokerage Commissions as Payment for Order Execution Services or Research Services

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Comments Received (comment period closed April 15, 2008)
Date Comment Letters
April 15, 2008 Peter Haynes & Ray Tucker (TD Securities Inc.)
April 10, 2008 Investment Management Practice Group (Borden Ladner Gervais LLP)
April 10, 2008 Daniel E. Chornous & Frank Lippa (RBC Asset Management)
April 10, 2008 Joanne DeLaurentiis (The Investment Funds Institute of Canada)
April 10, 2008 Ian Pember, Dawn Scott & Phil Schmitt (Alternative Investment Management Association)
April 10, 2008 Joan Hinchman (NSCP)
April 9, 2008 Ian Russell (Investment Industry Association of Canada)
April 9, 2008 Bob Lau (Leith Wheeler Investment Counsel Ltd.)
April 9, 2008 Bruce Garland (Bloomberg Finance L.P.)
April 9, 2008 Peter S. Bowen (Fidelity Investments Canada ULC)
April 9, 2008 Charles R. Sims (IGM Financial Inc.)
April 9, 2008 Greystone Managed Investments Inc.
April 9, 2008 Mark Conforti (SIFMA)
April 9, 2008 John Meserve (BNY ConvergEx Group LLC)
April 8, 2008 Katie A. Walmsley (Investment Counsel Association of Canada)
April 8, 2008 Susan M. Olson (Investment Company Institute)
April 8, 2008 Monique S. Botkin (Investment Adviser Association)
April 8, 2008 Barbara Palk (TD Asset Management)
March 26, 2008 Graham Laybourn (Baillie Gifford & Co)
March 20, 2008 Blair Carey (The Canadian Advocacy Council)
March 18, 2008 Wayne B. McAlpine (Commission Direct Inc.)
Comments Received (comment period closed November 3, 2006)
Date Comment Letters
November 3, 2006 W. Sian Burgess (IGM Financial)
November 3, 2006 Randy Cass (First Coverage)
November 3, 2006 Rajiv Silgardo (Barclays Global Investors)
November 2, 2006 John S. Montalbano (Phillips, Hager & North)
November 1, 2006 Roger Beauchemin (McLean Budden)
November 1, 2006 Joe DeSario (Reuters)
November 1, 2006 Valerie Barush (IAA)
October 30, 2006 Katie A. Walmsley (ICAC)
October 30, 2006 Ian C.W. Russell (IIAC)
October 30, 2006 Ian Williams (Perimeter Financial Corp.)
October 27, 2006 AGF Funds Inc.
October 26, 2006 Daniel Chiu (CPP Investment Board)
October 26, 2006 Chris Guthrie & Arun Kaul (Hillsdale Investment Management Inc.)
October 26, 2006 Peter S. Bowen (Fidelity Investments)
October 24, 2006 Warren Law (Canadian Bankers Association)
October 20, 2006 Doug Pearce (bcIMC)
October 20, 2006 Paul-Andre Brisson (Highstreet Asset Management Inc.)
October 19, 2006 Gordon R. Cunningham (Cumberland Private Wealth Management Inc.)
October 19, 2006 Blair Carey and Robert Morgan (Canadain Advocacy Council)
October 19, 2006 Graham E. Henderson (Pacific Capital Management Ltd.)
October 19, 2006 John Meserve (BNY ConvergEx Group LLC)
October 19, 2006 T. Rowe Price Associates, Inc.
October 19, 2006 Peter Bailey (Raymond James)
October 19, 2006 Robert C. Grohowski (ICI)
October 19, 2006 Nicholas Thadaney (ITG)
October 19, 2006 Peter Haynes & Ray Tucker (TD Newcrest)
October 19, 2006 Mark Tiffin (Capital International)
October 19, 2006 Angus Macdonald (Baillie Gifford & Co.)
October 19, 2006 AIMA Canada - by Ian Pember (Hillsdale Investment Management Inc.), Ron Kosonic (Borden Ladner) and Phil Schmitt (Summerhill Holdings Inc.)
October 19, 2006 Michael Palmer (Veritas Investment Research)
October 18, 2006 Mark Rosen (Accountability Research Corp.)
October 18, 2006 Wayne B. McAlpine (Commission Direct Inc.)
October 18, 2006 Claude-Etienne Borduas (CIBC)
October 17, 2006 David McCaslin & William Wheatley (Greystone)
October 17, 2006 Robert F. Richards & Richard M. Tattersall (Heathbridge Capital Management Ltd.)
October 17, 2006 Bruce Garland (Bloomberg)
October 16, 2006 Alfred G. Wirth (Wirth Associates Inc.)
October 16, 2006 Daniel E. Chornous, Frank Lippa and Mark D. Pratt (RBC Asset Management)
October 13, 2006 Joan Hinchman (NSCP)
October 12, 2006 Barbara Palk (TD Asset Management)
August 15, 2006 Eugene A. Noser Jr. (Kenmar)